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FebFINRA Seeks to Beef-Up Use of BrokerCheck
February 13, 2014 By Trevor Hunnicutt Investmentnews.com Finra on Thursday advanced a revised proposal that would require brokerage firms to include a link on their websites and other online communications to BrokerCheck, the database that includes broker disciplinary records. The Financial Industry Regulatory Authority Inc. would require brokerage firms to display links to BrokerCheck, “on ...
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JunIIED Defense Case in the Westword/Tom Martino
Successful Outcome for the Tom Martino case on summary judgment: http://blogs.westword.com/latestword/2013/01/tom_martino_bankruptcy_settlement_negotiations_lawsuit.php?page=2...
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MarCourt Ruling Goes Against Securities America
Investmentnews.com Late Friday afternoon, a federal judge in Dallas failed to approve a $21 million class action settlement between Securities America Inc. and clients suing the firm over private placement investments that went bust. The hearing for the proposed settlement was closely watched. As part of the proposed settlement, dozens of clients suing Securities America in ...
